At Associated Bank we strive to create an inclusive culture where different perspectives are valued and recognized as strengths critical to our success. If you thrive in an environment where your growth and development are encouraged and supported, then Associated Bank may be the right place for you.
Associated Bank requires you to directly represent yourself and your own experiences during the recruiting and hiring process. Associated Bank conducts a thorough background check on all new hires.
Role SummaryJoin Associated Bank’s AIS team as a General Securities Principal, ensuring regulatory compliance and suitability across broker/dealer transactions. You’ll play a key role in maintaining high standards of integrity, reviewing investment activity, and partnering with internal teams to strengthen processes and compliance oversight. This position offers the opportunity to expand your expertise in financial supervision while supporting a culture of transparency and excellence.Key Accountabilities
Conduct suitability reviews of new business and transactions requiring approval under FINRA and broker/dealer guidelines.
Ensure compliance by verifying documentation accuracy and enforcing sales practice standards with diplomacy and professionalism.
Develop and maintain procedures for principal review, signature guarantee programs, and product rate communications.
Collaborate with strategic partners to manage product updates, annuity rate sheets, and internal communications.
Review and test standard operating procedures to ensure compliance with evolving regulations.
Maintain deep product knowledge by analyzing materials from broker-dealer vendors and partners.
Support projects involving new product implementation, operations enhancements, and compliance process improvements.
Monitor and manage signature medallion stamp processes, ensuring training and accountability across representatives.
Required
Bachelor’s degree or equivalent experience.
3+ years of financial services experience.
Active FINRA Series 7, 99, 66, and 24 licenses (required by start date).
Preferred
Bachelor’s degree in Finance, Economics, or Accounting.
5+ years of financial services experience, with brokerage or supervisory background.
Series 53 and/or Series 4 license (within 6 months of hire).
At Associated Bank, you’ll join a trusted financial institution that values integrity, accountability, and professional growth. We provide an environment where your expertise contributes directly to our clients’ success and organizational excellence. With opportunities to lead process improvements and influence compliance strategy, you’ll grow both personally and professionally.
Apply today to build your future with a company that invests in your success.
In addition to core traditional benefits, we take pride in offering benefits for every stage of life.
Retirement savings including both 401(k) and Pension plans.
Paid time off to volunteer in your community.
Opportunities to connect with others through our diversity-focused Colleague Resource Groups.
Competitive salaries with professional development and advancement opportunities.
Bonus benefits including well-being programs and incentives, parental leave, an employee stock purchase plan, military benefits and much more.
Personal banking, loan, investment and insurance benefits.
Associated Bank serves more than 120 communities throughout Wisconsin, Illinois, Minnesota, and Missouri and we consider our colleagues critical to our continued success. See why our colleagues continually vote us a best place to work in the Midwest. Join our community on Facebook, LinkedIn and X.
Compliance Statement
Associated Bank is an equal opportunity employer committed to creating a diverse workforce. We support a work environment where colleagues are respected and given the opportunity to perform to their fullest potential. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.
Fully complies with all applicable enterprise policies and procedures. Acts in compliance with all applicable laws and regulations as outlined in training materials, including but not limited to Bank Secrecy Act. Responsible for reporting suspicious activity to Financial Intelligence. Responsible to report all customer complaints as prescribed and procedure violations to management or HR.
Responsible to report ethical concerns as needed to Associated Bank’s anonymous Ethics Hotline.
Associated Bank provides additional assistance throughout the application, interview and hiring process. Please contact [email protected] if you need an accommodation at any time during the process.
Associated Banc-Corp participates in the E-Verify Program. E-Verify Notice English or Spanish. Know Your Right to Work English or Spanish.
Associated Bank is Pay Transparency compliant.
The pay range represents anticipated base pay for this role. Actual pay may vary based on factors including, but not limited to, work location, skills, experience, education, and qualifications for the role.
$66,780.00 - $114,480.00 per yearTop Skills
What We Do
Associated Banc-Corp (NYSE: ASB) has total assets of $34 billion and is Wisconsin’s largest bank holding company. Headquartered in Green Bay, Wisconsin, Associated is a leading Midwest banking franchise, offering a full range of financial products and services from more than 220 banking locations serving more than 120 communities throughout Wisconsin, Illinois and Minnesota, and commercial financial services in Indiana, Michigan, Missouri, Ohio and Texas.
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